SEC Form 4 · accession 0000899243-17-000117
UNIVERSAL BIOSENSORS INC · UBI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Adrian Oates
Officer — See Remarks
Period of report
Dec 29, 2016
Accepted (ET)
Jan 3, 2017 · 6:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001279695
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Restricted Shares of Common StockF11 | Dec 29, 2016 | A | 3,030 | $0.00 | A | 15,170 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $0.00 | holding | — | — | — | — | Jan 29, 2022 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to Buy)F3 | $0.00 | holding | — | — | — | — | Dec 11, 2020 | Common Stock | 40,000 | 40,000 | D |
| Stock Option (Right to Buy)F4 | $0.00 | holding | — | — | — | — | Nov 12, 2019 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to Buy)F5 | $0.00 | holding | — | — | — | — | Nov 17, 2018 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to Buy)F6 | $0.00 | holding | — | — | — | — | Nov 10, 2017 | Common Stock | 25,000 | 25,000 | D |
| Stock Option (Right to Buy)F1,F7 | $1.72 | holding | — | — | — | — | Nov 9, 2019 | Common Stock | 100,000 | 100,000 | D |
| Stock Option (Right to Buy)F8 | $0.00 | holding | — | — | — | — | Jun 28, 2019 | Common Stock | 105,000 | 105,000 | D |
| Stock Option (Right to Buy)F9 | $0.00 | holding | — | — | — | — | May 14, 2019 | Common Stock | 16,667 | 16,667 | D |
| Stock Option (Right to Buy)F1,F10 | $1.20 | holding | — | — | — | — | Sep 18, 2017 | Common Stock | 400,000 | 400,000 | D |
Explanation of responses
- F1The price is stated in Australian dollars.
- F101/3 of the stock options vested and became exercisable on 06/30/2008, 1/3 of the options vested and became exercisable on 06/30/2009 and the remaining stock options vested and became exercisable on 06/30/2010.
- F11Includes (i) 3,253 shares in the form of CDIs Dr. Oates holds directly and (ii) 8,887 restricted fully paid shares.
- F2(13,333 stock options vested and became exercisable on 12/31/2015, 13,333 stock options vest and become exercisable on 12/31/2016, and 13,334 stock options vest and become exercisable on 12/31/2017.
- F3(13,333 stock options vested and became exercisable on 12/31/2014, 13,333 stock options vested and became exercisable on 12/31/2015, and 13,334 stock options vest and become exercisable on 12/31/2016.
- F4(8,333 stock options vested and became exercisable on 12/31/2013, 8,333 stock options vested and became exercisable on 12/31/2014, and 8,334 stock options vested and became exercisable on 12/31/2015.
- F5(8,333 stock options vested and became exercisable on 12/31/2012, 8,333 stock options vested and became exercisable on 12/31/2013, and 8,334 stock options vested and became exercisable on 12/31/2014.
- F61/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012.
- F71/3 of the stock options vested and became exercisable on 12/31/2010, 1/3 of the stock options vested and became exercisable on 12/31/2011 and the remaining stock options vested and became exercisable on 12/31/2012.
- F810,000 stock options vested and became exercisable on 12/31/2010, 21,666 stock options vested and became exercisable on 12/31/2011, 35,000 stock options vested and became exercisable on 12/31/2012, 25,000 stock options vested and became exercisable on 12/31/2013, and 13,334 stock options vested and became exercisable on 12/31/2014.
- F98,333 stock options vested and became exercisable on 12/31/2010 and the remaining stock options vested and became exercisable on 12/31/2011
Remarks
Vice President, Quality & Regulatory